The outside business activities of registered persons have the potential for causing your firm significant liability, especially where those activities are unknown to the firm, involve firm customers and constitute
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Social Media
Do You Want To Know What Keeps The Regulator Up At Night?
At a regulator’s round table during a recent National Society of Compliance Professionals meeting, the regulators framed out those issues that are keeping them up at night. The issues include:…
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So What Do You Need To Do With BrokerCheck
While many brokers breathed a sigh of relief when FINRA withdrew its proposal requiring members to include a “prominent description of and link to” BrokerCheck on their websites and social…
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What You Need To Know About Disclosures Through Social Media
In recognition of the pervasive use of social media, the SEC recently issued guidance that public companies could disseminate material information through social media without violating Regulation FD. The question remains…
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What Do You Fear About Using Social Media
I recently blogged about how you can be great at using social media. Based upon a recent survey, I suspect that not many of you may be following that…
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Securities Employees’ Social Media Access Cannot be Touched by their California Employers
On January 1, 2013, California joined Maryland and Illinois in restricting securities employers’ access to their employees’ and job applicants’ social media accounts. This new law was announced on Twitter, and…
How To Be Great At Using Social Media
In a recent InvestmentNews article by Stephanie Sammons, she highlighted that the major problem financial advisors have with social media is “knowing what to share on social networks.” Assuming that…
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Did You Hear That FINRA May Force BDs To Wear A Scarlet Letter?
Much like the character in the famous Nathaniel Hawthorne story, FINRA is looking force broker-dealers to wear a mark on all of their social media. FINRA wants to amend Rule…
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Blogging and Social Media in the New Year
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Slow IPO Market Means Fewer Securities Lawsuits
If you had asked me yesterday whether there were a lot of securities lawsuits last year, I would have said, “Oh, absolutely.” And I would have been absolutely wrong. Lawsuits were…
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